Series 99 Exam Prep Training

Series 99 securities prelicensing program

FINRA Series 99 Exam Prep

ExamFX has created a comprehensive online Series 99 training program to ensure candidates are prepared to pass their qualification exam on the first attempt.

RETAIL PACKAGES STARTING AT
$169.00

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*Securities products are available through Training Consultants, an ExamFX brand. Click this button to checkout on TrainingConsultants.com.

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Series 99 Training Package Information

We offer a flexible solution and package designed to help candidates pass their Series 99 exam. Our training provides a variety of helpful study tools that prepares candidates for success.

PACKAGE INFORMATION

	ONLINE COURSE PACKAGE $189	TEXTBOOK PACKAGE $169
	ONLINE COURSE PACKAGE $189	TEXTBOOK PACKAGE $169
Access Days	180	90
Hard-Copy Textbook
eBook
Instruction
On-Demand Video Lectures
Personalized Study Plan
Best Practice Guide
Multi-Level Testing
SpotCheck Quizzes
Practice Question Sets
Checkpoint Exams
Benchmark Final
Standard Final Exams
Custom Exam Generator
Support
Online Instructor Support
Phone Instructor Support
Additional Tools
Glossary and Acronyms
Online Flashcards
Real-Time Content Updates
Report Center

View Packages and Pricing*
*Securities products are available through Training Consultants, an ExamFX brand. Click this button to checkout on TrainingConsultants.com.

What is the Series 99 exam?

The Series 99 exam assesses the ability of an entry-level Registered Representative to perform their job as an operations professional. In order to obtain a Series 99 registration, candidates must pass the Operations Professional Exam administered by the Financial Industry Regulatory Authority (FINRA).
VIEW FINRA SERIES 99 EXAM CONTENT OUTLINE

About the Series 99 Exam

What are the topics covered on the Series 99 Exam?

FINRA has classified the exam into two main job functions an Operations Professional is expected to perform. Based on the outline, the job functions are:

Knowledge Associated with the Securities Industry and Broker-dealer Operations (70%)
Professional Conduct and Ethical Considerations (30%)

See below for a more detailed breakdown or visit FINRA.

Function 1: Knowledge Associated with the Securities Industry and Broker-Dealer Operations

Accounts Opening and Maintenance
Cashiering and Account Transfers
Custody and Control of Securities
Trade Reporting and Corrections
Margin and Stock Loan/Securities Lending
Settlement
Account Statements and Confirmations
Regulatory Financial Requirements of Broker/Dealers
Books and Records

Function 2: Professional Conduct and Ethical Considerations

Relationships and Dealings with Customers, Vendors and Associated Persons of the Firm
Customer Privacy
Importance of Escalating Complaints and/or Potential Red Flags
Broker/Dealer Supervision and Control

Additional Series 99 Study Materials

Looking to supplement a learning package that you are already working with? We’ve got you covered.

Online Exam Center
Online Flashcards

View Packages and Pricing*
*Securities products are available through Training Consultants, an ExamFX brand. Click this button to checkout on TrainingConsultants.com.

FINRA Series 99 Exam Details

The Series 99 exam consists of 50 multiple-choice questions. Candidates will be given 1 hour and 30 minutes to complete the exam and must achieve a 68% to pass. The cost of the exam is $40.